Arbitration

Displaying 477 results

Topic

Wells Fargo loses defamation fight to fired broker

Amy Webster was a former bank broker for Wells Fargo Advisors for 13 years and claims the company made 'defamatory' remarks on her Form U5

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Finra denies J.P. Morgan effort to clamp down on breakaway brokers

Arbitrators also rebuffed brokers’ counterclaims of defamation and unfair competition

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Finra proposal to tighten expungement process heads to SEC

The rule would establish a special roster of arbitrators for expungement and set deadlines for requests

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Some lawyers warming up to virtual Finra arbitration hearings

New statistics from regulator show slow pick-up, but concerns remain over use of Zoom

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Court upholding $6 million award against Credit Suisse could bolster clawbacks

Arbitration lawyer says decision sends signal to ‘Wall Street bullies’; Credit Suisse points to wins in other cases

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401(k) arbitration agreements still not mandatory

Sponsors have interest in adding them to their retirement plan documents, but the courts are up in the air, lawyers said

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Finra expels broker-dealer, but owner explores an appeal

Sandlapper Securities may have some fight left, says CEO Trevor Gordon

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SEC approves Finra rule setting minimum fee for expungement requests

New floor of about $8,300 is meant to end the ‘$1 trick’ for brokers seeking quick clearing of records

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Finra changes membership process to curb the ability to sidestep arbitration awards

New rules target brokers with pending claims that are switching firms or trying to transfer assets

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Industry arbitration claims spike as coronavirus disruptions continue

Promissory note cases lead the way, signaling potential ‘employment upheaval’